Danvm DC Meeting Papers 2Feb2018 - Shire Group of IDBs · Danvm DC Meeting Papers 2nd February 2018 6 Governance Chair welcomed Martin Drake to first meeting Apologies for absence

Shire Group of IDBs Epsom House Malton Way Adwick le Street Doncaster DN6 7FE

Meeting Papers Friday 2 February 2018 9.30am

Shire Group of IDBS Epsom House Malton Way Adwick le Street Doncaster DN6 7FE T: 01302 337798 [email protected] www.shiregroup-idbs.gov.uk

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Meeting Papers Prepared by: CEO/Clerk - Ian Benn - PG Dip H&S and Env Law, Dip. NEBOSH, Grad IOSH, MCQI CQP

Engineer - Paul Jones BSc (Hons) Civil Eng., MSc (Eng) Eng. Project Management GMICE

Administrator/Environment Officer – Alison Briggs BSc(Hons) Env Sc. MSc Env. Mngt. Climate Change

Asset Manager - Martin Spoor BSc (Hons) Engineering, Geology, and Geotechnics

Finance Officer – Craig Benson BA Business Studies

Finance Officer - David Blake BSc (Hons) Accounting

Finance Officer - Mark Joynes BSc (Hons) Mathematics

Rating Officer - Janette Parker

Purpose

These meeting papers have been prepared solely as a record for the Internal Drainage Board. JBA Consulting accepts no responsibility or liability for any use that is made of this document other than by the Drainage Board for the purposes for which it was originally commissioned and prepared.

Carbon Footprint

148g

A printed copy of the main text in this document will result in a carbon footprint of 148g if 100% post-consumer recycled paper is used and 189g if primary-source paper is used. These figures assume the report is printed in black and white on A4 paper and in duplex.

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Agenda 1. Governance .......................................................................................................... 4 1.1 Apologies for Absence .......................................................................................... 4 1.2 Public Forum ......................................................................................................... 4 1.3 Member Training ................................................................................................... 4 1.4 Declaration of Interest ........................................................................................... 4 1.5 Minutes of the Meeting held 2nd November 2017 .................................................. 5 1.6 Matters arising not elsewhere on the Agenda ....................................................... 8 1.7 Complaints/FOI requests ....................................................................................... 8

2. Clerk’s Report ...................................................................................................... 9 2.1 Key Performance Indicators .................................................................................. 9

3. Financial Report .................................................................................................. 10 3.1 Task & Finish Group .............................................................................................. 10 3.2 Finance & Policy Committee ................................................................................. 10 3.3 Audit ...................................................................................................................... 12 3.4 Rates, Estimates and Special Levies for y/e 31 March 2019 ................................ 13 3.5 Five Year Budget Estimate .................................................................................... 15

4. Engineering Report ............................................................................................. 18 4.1 Coal Authority Funded Subsidence Station .......................................................... 18

5. INFORMATION ONLY .......................................................................................... 19 6. APPENDIX A: Complaints ................................................................................... 27 7. APPENDIX B: Notes of Task & Finish Group 5.1.18 ........................................ 32 8. APPENDIX C: Draft Minutes Finance & Policy Committee ............................. 34 9. APPENDIX D: Finance & Policy Committee ToR .............................................. 38 10. APPENDIX E: Internal Audit Review Meeting ................................................... 41 11. APPENDIX F: Risk Register ................................................................................ 43

Danvm DC Meeting Papers 2nd February 2018

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1. Governance Recommendation:

Approval of Minutes of meeting 2 November 2017

1.1 Apologies for Absence

1.2 Public Forum No requests have been received

1.3 Member Training Short training sessions will be provided on:

Declarations of Interest

Board Member Roles and Responsibilities

Asset Management

1.4 Declaration of Interest


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1.5 Minutes of the Meeting held 2nd November 2017 Present:

Member 4.11.16 3.2.17 23.6.17 02.11.18

Catherine Anderson (DMBC) -

David Atkinson (Dun District) A

Wayne Atkins (Barnsley DC) new

Andrew Cooke (Went District) A

Chris Crowe (Coal Authority) (Knottingley to Gowdall District) A A

John Duckitt (Dun District)

Martin Falkingham (Went District)

Terry Grady (Doncaster MBC) A

Mel Hobson (Selby DC) - -

Charlie Hogarth (Doncaster MBC) - -

Gillian Ivey (Chair) (Selby DC)

Frank Jackson (Vice Chair) (Doncaster MBC)

Mike Jordan (Selby DC) A A

Steve Lomas (Dun District)

Paul Maddison (Wakefield MDC) A

Cllr Dave Peart (Selby DC) -

David Platt (Knottingley to Gowdall District) A

Robert Robinson (Dun District) A A

Barry Roughley (DMBC) A x A

Richard Thompson (Dun District) A A

Cllr Debbie White (Selby DC) A A - -

Richard Ward (Doncaster MBC)

Neil Welburn (Went District)

Martin Drake (Went District) new

Michael Rogers (D&D District) new

Officers attending:

Ian Benn – CEO Craig Benson – Finance Officer Alison Briggs – Environment Officer

Paul Jones - Eng. Martin Spoor – Asset Manager

Public attendance – one


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Governance

Chair welcomed Martin Drake to first meeting

Apologies for absence were received from Chris Crowe, David Platt, Mike Jordan, David Atkinson

Declaration of Interest – MR as YWT employee in Agenda item 1.7 Complaints. MR advised the Board this matter had now been resolved

Public forum – no request received

Key Performance Indicators - noted

Minutes of meeting 23 June 2017– TG proposed be signed as a true record of the meeting, MF seconded, all in favour

Matters arising not discussed elsewhere on the Agenda - none

Complaints/FOI requests – EO advised as noted in the papers except for update from MR (2017.60) associated with the Little Went. All dealt with in accordance with Complaint Policy. AC queried Little Went incident, expressing concern over workforce training on environmental best practice questioning whether the training provided was sufficient or whether ignored by employee. Advised training delivered to all workforce, it was constructive session, full engagement; issues arising out of that complaint were being taken forward with the one staff member involved.

JD commented on Sykehouse/Fishlake area lack of maintenance. Chair noted his personal complaint had been raised to Board advising all the District could not be done at same time. Asset Manager advised maintenance commenced mid-July to adhere with environmental legislation, issues relating to movement of plant and equipment issues had dominated. Board required availability of sufficient meterage of watercourse to make plant movement efficient. Sykehouse Town Main Drain is road work, not crop dependent and has been left until later in the year to allow concentration on agricultural land over the last few years. The highway traffic management scheme has always been delivered around October period.

Joint Finance & Policy Committee – Chair noted revised agenda and Minutes would be discussed at this point. Advised second joint Committee held, considered to work very well. Recent discussions regarding sale of land through open market, she and Vice Chair had agreed to proceed with sale.

Eng. advised key point ratification from Board required regarding 2017.52 p33 regarding commuted sum. Eng. gave Board prècis of background to Committee discussions. Chair advised difference in recalculation of suggested sum from 2011 highlights appropriateness of Board policy not to accept commuted sums. Members of old Went IDB declared an interest. Noted Coal Authority has taken on liability in respect of subsidence within Great Heck area. Water from this area will eventually arrive at new pump station. Concerns about possible effect to households should drain not be maintained. Members advised within riparian responsibility to keep drains clear and not cause injury to upstream households. Chair advised looking for ratification of joint Committee decision. PM proposed Board approval of decision not to accept commuted sum, RW seconded, all in favour. RW noted a responsibility upon himself and PM to review the WLM Policy and questioned advice provided to landowners on riparian responsibility. Advised information on website regarding riparian responsibility including Environment Agency Living on the Edge document, information sent out with drainage rates and Members have received training on this subject in the past which could be repeated.

Committee Minutes - PM proposed Board approve the Minutes from the Joint Finance and WLM Committee, MF seconded, all in agreement

CEO Report CEO advised several matters requiring Board resolution, no communication had been received from Members requiring clarification on any Agenda item.

Key Performance indicators – Chair requested Member comment. RW advised this had been set out in specification for management services and it seemed sensible to be used as KPIs. RW proposed Board agree Management KPIs as set out in meeting papers, seconded FJ, all in agreement

Permanent Finance & Policy Committee – CEO advised membership of new Committee required Board approval noting amalgamation meant current representation was out of balance regarding requiring


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special levy bare majority. Chair advised two separate issues, firstly amalgamation of two committees into one, secondly balance of that Membership. Members agreed one Committee would increase speed of decision making process. Chair proposed new Finance & Policy Committee, seconded AC, all in favour.

Approval of 2015 Committee membership – RT thought it inappropriate to reduce elected membership, considered it better to increase nominated member numbers. Clerk reminded Members also disparity in how Districts were represented. Agreed whilst some members nominated from a District, they farmed areas in other districts. Chair advised in terms of Audit it was important appropriate balance of representation was delivered, whilst nominated members could be added, felt Committee membership would be too large as a result. PM agreed 13 would be too many. RW noted a number had to be agreed, current 11 appeared to work well suggesting the Committee could work within that number ensuring achievement of a bare majority for charging authority. AC agreed appropriate to adopt 11 Committee Members. RW agreed, with a view to ensuring correct bare representation and elected members across district. AC proposed Committee agree number of 11 and to work within the Committee to ensure correct representation prevailed, to be brought to next meeting, seconded RW, 14 in favour, 4 against, no abstentions, majority carried.

Approval of Committee Delegated Power – noted delegated power reflects that previous held by Finance Committee. RW proposed approved, Chair seconded, all in agreement

Approval of Committee Terms of Reference – Noted mirror of previous Finance Committee. CA queried Committee Delegated power regarding Board Budget Estimates. Chair confirmed Committee had power but traditionally sought Board ratification. Chair proposed approval of Committee Terms of Reference, RT seconded, all in agreement. The Chair requested sections 3-8 of the Policy & Finance Committee Terms of reference be on the next Committee Agenda for Member comment.

Approval of amendments to Scheme of Delegation – Mirror of existing Scheme of Delegation. Chair noted 1.3 referred to Chairman’s Committee of which there was none. Noted original Scheme of Delegation approved 2012. Chair proposed approval of amendments to Scheme of Delegation with a rewording of clause 1.3.1 delegating that power to Chair and Vice Chair, seconded FJ, all in agreement.

Approval for Board to move toward BS ISO 55000 – CEO advised first brought to Board attention in 2015 receiving support from PM and MJ at that time. Would enable Board to verify its decision-making process regarding assets and plan for refurbishment across life of asset. Noted Board managed £65,000,000 worth of assets. Advised a significant number of assets require intrusive investigation into stability of structural foundations, pump removal and strip down to identify true condition of asset. Environment Agency is moving to this standard, this action will put board on level footing. CEO offered if Board invest £5,000 initially to set up an Asset Management system, this would be matched in Officer time. CEO advised in preparation Management had produced Asset Management Policy and decision-making flow chart that Board could use with any de-maining process or asset transfer. AC queried ADA guidance or assistance on this matter as to whether it was necessary or appropriate way to deal with assets. Eng. advised any direction or otherwise from ADA was irrelevant; it is the responsibility of this Board to consider how it approaches managing its portfolio of assets; ADA does not have any pumped infrastructure assets. To date Board has reacted to problems; Asset Management approach is proactive, and is similar to how you would approach car maintenance. Management has taken several steps in the last two years in Asset Management, including introduction of a MEICA team with mechanical & electrical experience to help manage Board assets in a better manner. RW advised if board awarded ISO55000 it would be in an advantageous position in terms of undertaking work for other Boards or RMAs through PSCA. PM noted opportunity for Board where it has available revenue stream, it needs to spend on securing its assets. Eng. advised current decisions on replacement of stations are driven by condition, grant availability and other criteria; previously it has fallen to Officers to make recommendation whereas this route will give the Board better direction. Finance Officer advised Feb 2017 budget set aside £50,000 initially for station investigation, anticipating £5,000 per station. PM noted an asset management system can be passed onto any future


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management. Chair proposed documents produced by CEO be presented to next Finance & Policy Committee for consideration, FJ seconded, all in favour.

Date of next meetings:

Closed session – to discuss hydraulic model phase 2. As this section contained commercially sensitive information and potential conflict of interest for JBA Consulting, Members of Public and Management Staff left.

Hydraulic model Phase 2 – Minute provided by Chair.

The Chair & RW presented a summary of the procurement process undertaken by North Lincs Council. Questions and clarifications requested by members at the Joint Committee meeting had been checked with Legal and procurement services at Selby, DMBC and with North Lincolnshire Council Procurement Services. After discussion and further questions, Board members voted to accept the recommended tender. The Chair to advise North Lincs Procurement Services by Monday latest.

1.6 Matters arising not elsewhere on the Agenda Minute 2017.76 Date of next meeting. The meeting date has changed to 24th May 2018.

1.7 Complaints/FOI requests Details available at Appendix A

Board Finance & Policy Committee 2nd February 2018 1 December 2017

25th May 2018 23 March 2018

2nd November 2018 5 October 2018

7 December 2018


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2. Clerk’s Report Recommendation:

Agree achievement of Board KPI (Item 2,1,1) Agree achievement of Management KPI (Item 2.1.2)

2.1 Key Performance Indicators

2.1.1 Board KPI Indicator Achievement to date Anticipated target

February 2018 Adherence to Complaints Procedure Appendix A. Achieved 100%

Meeting Papers issued in accordance with Standing Orders

Standing Order 1, 14-day notice. Achieved. Standing Order 2, 7-day issue of Agenda and accompanying papers. Achieved.

100%

Percentage of rates collected

99.05% 100%

Percentage of planned watercourse maintenance work completed

65% * 100%

*The remaining 35% of planned watercourse maintenance work either has been inspected and no obstruction to flow identified or will be inspected by the end of February 2018 and any obstructions to flow dealt with by hand work.

2.1.2 Management KPI Indicator Date of Resolution, Response,

Minutes Dates issued

Board resolutions delivered in a timely manner or in accordance with agreed timetable

Board Meeting 3.11.2017. Minute 2017.32 Scheme of Delegation: agreed alterations and amendment to Clause 1.3.1

Produced and on website 08/11/2017

Responses to Board member enquiries, acknowledged within 5 working days of receipt

Member complaints received regarding maintenance 3.1.2018.

Response provided 3.1.2018

Completion of draft Minutes for Member approval within 7 days of meeting

Meeting 3.11.17 Provided for Chair approval. Issued to Members

Meeting 5.12.17 Provided Finance & Policy Chair for approval. Issued to Members

Meeting 5.1.2018 Provided T&F Group Chair for approval

06/11/2017 Next working day to Chairman. 09/11/2017 to Members

06/11/2017 Next working day to Committee Chairman. 08/12/2017 to Members

Issued 09/01/2018 to Chairman.17/01/2018 to Members


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3. Financial Report Recommendation:

To agree recommendations Task & Finish Group (Item 3.1) To agree Finance & Policy Committee Terms of Reference (Item 3.2.1) Approval of amended Watercourse Maintenance Statement (Item 3.2.2) To approve the Risk Register (item 3.3.2) Agree Drainage Rate and Special Levy (Item 3.4)

3.1 Task & Finish Group The T&F Group appointed by Finance & Policy Committee met on 5th January 2018. Notes on meeting are available at Appendix B.

Recommendations are the Board agrees to support:

Primary watercourses require annual maintenance, secondary watercourses be assessed annually pre-maintenance, tertiary watercourses maintenance 5+years and cessation of some tertiary watercourse maintenance.

A trial on early cut for Blackshaw Clough and Towns Clough pump stations catchment priority watercourses.

The requirement for primary watercourses to have a 5m access strip from 2018. Riparian owners will all be informed

Investigation for alternative depot to avoid current access and egress issues be progressed.

3.2 Finance & Policy Committee Draft Minutes of Meeting 1 December 2017 available Appendix C.

3.2.1 Terms of Reference Available at Appendix D. Amendments include removal of specific statement of Vice-Chairman as observer, Board will endeavour to ensure Committee Members reflect correct balance of representation and removal of email as way of participating in meeting.

3.2.2 Watercourse Maintenance Statement A watercourse includes all rivers, streams, ditches, drains, cuts, culverts, dikes, sluices, sewers (other than public sewers) and passages, through which water flows Land Drainage Act 1991 (as amended) (LDA). An Ordinary Watercourse is defined by the LDA (s72) as any watercourse other than a Main River.

Ordinary Watercourses within a Drainage District are subject to the permissive powers of an Internal Drainage Board (“IDB”) under the LDA and Byelaws. Those outside a Drainage District are subject to powers of the local authority.

The IDB has general powers of supervision over Water Level Management within the Internal Drainage District (IDD) and may prohibit placement of obstructions in watercourses (Section 23 LDA), and prohibit development/ obstructions within 9 metres of a watercourse (Section 66 LDA and Byelaws) All works within drains and the 9-metre boundary are subject to Consent, which is obtained from the IDB (see Information for Applicants under Planning, Consent & Byelaws).

Ownership and responsibility for the maintenance of Ordinary Watercourses lies with the riparian landowner, established at common law. It has also been established that the same rights and responsibilities are applied to piped Ordinary Watercourses unless otherwise evidenced. The riparian landowner is the owner/occupier of land/property adjoining a watercourse unless otherwise evidenced by deed.


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Normally an IDB is not a riparian owner and does not own any Ordinary Watercourse within the Drainage District. The Board may choose to exercise permissive powers of entry to manage identified Ordinary Watercourses that serve an arterial function through the District as identified on the Maintenance Plan (see News/ Maintenance). The IDB may choose to exercise its powers of entry for any Ordinary Watercourse within the Drainage District outside the Maintenance Plan e.g. in an emergency.

The Maintenance Plan is dynamic, and may change due to weather patterns, ground conditions, available access, and benefit. If the Board chooses to include an Ordinary Watercourse as part of its annual maintenance plan, it is because it provides water level management benefits to the Drainage District. For clarity, the Board does not 'adopt' any watercourse as this implies ownership. Ownership remains riparian.

Ordinary Watercourses identified for maintenance shall be those that generally serve more than one riparian landowner within its catchment, those that present a long-term risk to households without regular maintenance, and those arteries flowing to pumping stations.

The Board has used its commissioned Hydraulic Model to inform a prioritisation of Ordinary Watercourses deemed to provide water level management benefits. These prioritisations determine the level of maintenance undertaken and access requirements on identified Ordinary Watercourses. This will be reviewed annually and shall be at the discretion of the IDB, but will normally comprise the de-weed of the channel and flail the appropriate bank(s) to improve the line of sight for de-weeding machine operations and to restrict the establishment of scrub growth. Circumstances may arise where the IDB consider de-silting is required to maintain flow.

The Board requires seamless and unfettered access to land to undertake routine maintenance in a cost-effective manner across the District. Should access for maintenance be refused or access barred, the watercourse will not be maintained by the Board within that riparian section until the following season. Nevertheless, the Board reserves the right to serve notice on the riparian owner of the watercourse under Section 24 and Section 25 of the LDA.

Primary Watercourses require the provision of access by permanent 5m grass strip and with preference for the ability to alternate sides from which maintenance is undertaken.

The prioritization of watercourses will determine maintenance Environmental Best Practice treatment in accordance with Drainage Channel Biodiversity Manual.

The IDB may deposit any matter removed in the course of carrying out maintenance activities on the banks of a watercourse, or such a width of land adjoining a watercourse. The IDB recognises that landowners must comply with the Defra Guide to Cross Compliance in England GAEC1 and will advertise the Board's maintenance programme on the website to enable those in receipt of payments to apply for a derogation of Grant from Rural Payments Agency.

On those Ordinary Watercourses identified for maintenance by the IDB, the riparian landowner is responsible for field drainage outfalls, catch pits, watercourse access structures, stock/ boundary fencing, maintaining/cutting hedges/trees to prevent growth over the watercourse, and preventing damage to banks from livestock and machinery. The IDB is not responsible for hedge cutting and if this extra work is undertaken to access the drain for maintenance, the riparian landowner will be recharged.

The riparian landowner is also responsible for minor works to remove shoals on the ditch bed, banks slips, fallen trees, accumulations of rubbish, and blown sand which do not obstruct flow unless remediation by the IDB is possible during the planned maintenance season. Riparian landowners should also clear any animal carcasses from their watercourses even if they did not come from their land. Please contact the IDB with regards to planned works after considering the Consent information (see Information for Applicants under Planning, Consent & Byelaws) and the IDB will consider whether Consent is required.

Engineering or improvement works on Ordinary Watercourses will only be undertaken where a clear benefit for the Drainage District is demonstrated, and after an initial consideration of what the impact [likelihood and severity] of doing nothing would be. These works may require contributions or costs recharged to the riparian land owner(s) or other interested parties.

Major obstructions to flow should be notified to the IDB so that Works may be considered in the Maintenance Plan or appropriate Notices served on riparian landowners e.g. blown sand obstructing the flow within an Ordinary Watercourse is the responsibility of the riparian landowner to remove.


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The IDB works with other Public Bodies to provide a public service by continuing to manage water levels for the overall benefit of people, property, commerce, industry, agriculture, and the aquatic environment within the defined Drainage District.

Following enactment of the Flood and Water Management Act 2010 (FWMA), an IDB is now considered as a Risk Management Authority (RMA) who has duties under the FWMA including cooperating with other RMAs and to freely share information with regards to its function.

3.3 Audit

3.3.1 Internal Audit Review Meeting Minutes The internal audit review meeting was held on 8 January 2017 and the minutes are attached at Appendix E.

3.3.2 Risk Register The risk register document has been updated and now includes specific risks associated with this Board. Members are asked to formally approve the document. It can be viewed at Appendix F.


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3.4 Rates, Estimates and Special Levies for y/e 31 March 2019

£ £ £ £ £ £ INCOME

148,062 148,062Drainage Rates on Agricultural Land:- 9.75p 151,612Special Levies:- 9.75p

400,976 400,976 Doncaster MBC 411,98637,259 37,259 Barnsley MBC 38,239

2,481 2,481 Rotherham MBC 2,546388,957 388,957 Selby DC 399,193

26,170 26,170 East Riding of Yorkshire Council 26,85895,847 95,847 Wakefield MDC 98,369

8,978 8,978 Rental Income 7,578500 500 Interest and Investment 500

52,578 47,975 Contribution to Pumping Stations 49,18430,500 59,590 Contribution to Other Works 57,50012,200 1,204,508 44,714 1,261,509 Other Contributions 70,506 1,314,071

EXPENDITURE315,676 306,482 Flood Defence Levy 315,676172,672 169,923 Pumping Stations 165,222416,450 433,278 Drains Maintenance 439,480226,823 229,635 Administration Costs 232,323

5,000 9,905 Other Expenditure 58,30622,000 15,750 Depot Maintenance Costs 21,00011,678 1,170,299 11,678 1,176,651 Cost of Borrowing - Loan Repayment 11,678 1,243,685

34,209 84,858 Surplus - (Deficit) 70,386

150,000 150,000 Transfer to New Works and Plant Account 130,000

(115,791) (65,142) Balance (59,614)

537,094 632,042 Balance Brought Forward 566,900

421,303 566,900 Balance Carried Forward 507,286

40.79%

DANVM DRAINAGE COMMISSIONERS

2017/18 2018/19Approved Estimate Estimated Out-Turn Estimate

Penny Rate : £115,774


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£ £ £ £ £ £INCOME

175,000 0 PS Replacement - Committed Reserves 0400,000 0 PWlB Loan for Plant and Vehicles 030,000 0 Sale of Plant - Excavator 25,00022,500 0 Sale of Plant : Tractor & Flail 26,000

0 0 Sale of Plant - Front Topper Flail 3,0000 0 Sale of Plant - 4x4 2,0000 0 Sale of Plant - Berlingo Van 5000 0 Sale of Plant - Tractor 17,0000 0 Sale of Plant - Lower Loaders 4,5000 0 Sale of Plant - Dump Trailers 4,5000 0 Sale of Plant - Post Knocker and Wood Chipper 3,8000 75,000 Optioneering Modelling - Grant/Local Levy 35,000

100 627,600 100 75,100 Interest 100 121,400

EXPENDITURE

128,000 0 Machine Replacement - Excavator 1 021,000 0 4x4 Replacement 22,50020,000 0 Machine Replacement - Low Loader 0

175,000 0 Capital Works - Pumping Stations 040,000 0 Machine Replacement - Flail Mower 30,500

100,000 0 Machine Replacement - Tractor 00 0 Machine Replacement - Mid mount flail mower 7,0000 0 Van Replacement 13,3000 0 New - Mobile Welfare Unit 30,000

50,000 0 Pumping Station Asset Inspection 50,0000 0 Pumping Station Refurbishment 50,0000 38,144 Catchment Modelling 00 75,000 Optioneering Modelling 35,000

186,087 720,087 103,267 216,411 Loan Repayments - Plant and Vehicles 103,267 341,567

(92,487) (141,311) Surplus - (Deficit) (220,167)

116,747 132,910 Balance Brought Forward 141,599

150,000 150,000 Transfer from Revenue 130,000

174,260 141,599 Balance Carried Forward 51,432

EstimatedOut-Turn

ApprovedEstimate Estimate

2017/18 2018/19

DANVM DRAINAGE COMMISSIONERS

New Works and Plant Account


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3.5 Five Year Budget Estimate The five-year estimates can be found over the following pages.

£ £ £ £ £ £ Income from 100% Recoverable Items

98,324 103,533 Pumping Stations 105,2941,000,000 399,964 Capital Works 750,000

7,800 7,800 Beal Lane Pump Hire 7,8004,000 4,000 Other Boards Materials etc 4,000

600 600 Dam Hill Drain Connection 6008,000 1,118,724 9,795 525,692 Other Recoverable Items 10,250 877,944

Total

EXPENDITURE98,324 103,533 Pumping Stations 105,294

1,000,000 399,964 Capital Works 750,0007,800 7,800 Beal Lane Pump Hire 7,8004,000 4,000 Other Boards Materials 4,000

600 600 Dam Hill Draiin Connection 6008,000 1,118,724 9,795 525,692 Other Recoverable items 10,250 877,944

0 0 Surplus - (Deficit) 0

0 0 Balance Brought Forward 0

0 0 Balance Carried Forward 0

DANVM DRAINAGE COMMISSIONERS100% Recoverable Items

2017/18 2018/19Approved Estimate Estimated Out-Turn Estimate


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18

4. Engineering Report Recommendation:

Acknowledge the tender return and appraisals for Great Heck mitigation scheme

4.1 Coal Authority Funded Subsidence Station

4.1.1 Great Heck tender return and appraisal The Commissioners’ Auditor has asked that the Tender Return Reports associated with 3rd party funded projects are acknowledged by the Commissioners although funded / recharged to the Coal Authority.

The Tender Return for the Earthworks element is issued a separate item with the meeting pack. Members are asked to respect the commercially sensitive nature of the information in this document.

Tender Reports are expected for the civils / structural element of the pump station, and a further tender report is expected for the mechanical and electrical works.


19

5. INFORMATION ONLY


20

Clerk Information and Advice Legislation Commencing this month, new Water Abstraction and Impounding (Exemptions) Regulations 2017 will impact on some within the IDB industry. Previously exemptions applied to certain activities which now require a licence be obtained with an associated fee. The existing requirement for abstraction less than 20m 3 per day remains in place. Changes will be incorporated into the Board’s Consent applications conditions.

Guidance Defra Farming rules for water

The publication summarises the ‘farming rules for water’ which will be introduced from 2 April 2018. The rules will require good farming practice, so that farmers manage their land both to avoid water pollution and to benefit their business.

This is available on the Shire Group section of the website.

Environment Agency Designation of ‘main rivers’: guidance to the Environment Agency.

Published 16 November 2017.

The guidance sets out the basis on which the Environment Agency decide whether or not a river or watercourse is treated as a ‘main river’. The guidance has been issued under section 193E of the Water Resources Act 1991.

This is available on the Shire Group section of the website.

Environment Agency Humber Flood Risk Management Strategy Comments have been fed back into the scoping report for the Comprehensive Review of the Strategy. While the Strategy now encompasses the tidal limit, the Review will concentrate on tidal flooding along the estuary.

Association of Drainage Authorities

ADA Conference November 2017

James Bevan looks like a sound appointment as Chief Executive for the EA. He was subject to the usual interrogation around dredging, badgers/newts etc but delivered robust open responses which were well received. He clearly stressed that de-mainment and asset transfer will only happen with ‘willing partners’.

There was an excellent presentation from Cllr Derek Antrobus Salford City Council dealing with sustainable developments and natural flood management issues.

Robert Caudwell gave his inaugural speech as the incoming ADA Chairman demanding to be an equal partner in water level management activity and would not be content with IDBs just being ‘thrown crumbs’.

Henry Cator stood down as Chairman.


21

Financial Advice and Information Rating Report Details of the Rates and Special Levies issued and payments received up to and including 9 January 2018: -

£ £ Balance Brought forward at 1 April 2017 1,655.98 2017/2018 Drainage Rates and Special Levies Drainage Rates 147,367.49 Special Levies Barnsley Metropolitan Borough Council 37,259.00 Doncaster Metropolitan Borough Council 400,976.00 East Riding of Yorkshire Council 26,170.00 Rotherham Metropolitan Borough Council 2,481.00 Selby District Council 388,957.00 Wakefield Metropolitan District Council 95,847.00 951,690.00 Total Drainage Rates & Levies Due 1,100,713.47 Less Paid: - Drainage Rates 147,610.06 Special Levies Barnsley Metropolitan Borough Council 37,259.00 Doncaster Metropolitan Borough Council 400,976.00 East Riding of Yorkshire Council 26,170.00 Rotherham Metropolitan Borough Council 2,481.00 Selby District Council 388,957.00 Wakefield Metropolitan District Council 95,847.00 951,690.00 Total Drainage Rates & Levies Paid 1,099,300.06 Admin Adjustments 130.33 Balance Outstanding as at 9 January 2018 1,283.08

Schedules of Payments At the meeting of the Finance & Policy Committee on 5 December 2017, the committee approved a schedule of cheques, all approved by the Clerk & Engineer, totalling £470.00. At the same meeting, the committee approved a schedule of payments made directly from the bank account totalling £205,496.54 of which £101,500.57 were approved by the Clerk and Engineer.


22

Engineering Advice and Information Modelling Report The second phase of modelling is underway with 874 hours completion to date, and completion anticipated in May 2018 with the following representing a progress update for information. Consultants have:

Run the 20-year simulations for all of the catchments and produced flood extents Produced flood extents of the climate change scenarios for 50% of the catchments Made progress on the flow duration curves and derivation of the downstream boundary

conditions for the pumping station optimisation Set up HEC-RAS geometry files and run approximately 33% of the blockage scenarios Begun the process of deriving the long-term hydrographs Modified the HEC-RAS geometry files for all catchments to simulate the night time tariff scenarios Modelled and mapped approximately 50% of the night time tariff scenarios Carried out one of the options tests.


23

Canal & Rivers Trust Information was provided on 18th January of an obstruction to flow on the syphon for Sykehouse Main Drain under New Junction canal, impacting on water levels in the drain.

Canal & Rivers Trust were contacted immediately, its Engineering team is to rectify the situation, believed to be a blockage on the weed screen.


24

Environmental Advice and Information Northern Forest Plans for the proposed Northern Forest have recently been released, involving 120-mile corridor associated with M62 from Hull to Liverpool. This Board’s district will be affected in association with maintenance of M62 toe drains and access for Highways England. The intention is to repopulate one of the least wooded parts of the country with local, mainly broadleaf tree species, and provide a band of newly greened landscape to escape to from the nearby urban areas and link them into existing forests and woodland.

25-year Environmental Plan Released on 11 January 2018 the plan sets out the Government approach to protecting and enhancing landscapes and habitats in England for the next generation. A link is available on the Shire Group Boards section of the website under News. Chapter 1: Using and managing land sustainably includes protection of peatlands, expanding woodland and reducing the risk of harm from flooding including greater use of natural flood management solutions.

Legislation Eel Regulation (England and Wales) Regulations 2009 Work will be undertaken at the Bramwith Rands Culvert on results of modelling the system. Biodiversity Action Plan 2015-2020 BAP implementation of protected species surveys will commence late spring. Water Level Management Plans Shirley Pool SSSI Scrub clearance works were completed early December. The project is complete, excepting annual monitoring until 2020. Efficiency savings made in project implementation will be resolved with the Environment Agency within this financial year.


25

Site visit was made 18th January 2018 following rain and snow fall since Christmas. Both bunds appear to be working, slowing water flow and retaining more water within site. Small pools of water are apparent in the peat within the area of recently cleared of scrub.

Health & Safety Advice and Information No accidents or incidents to report. The employees continue to hold weekly Health & Safety briefings. The CEO and Asset Manager recently met the workforce regarding their duty of care both to themselves and others.

Excavators used as ‘Cranes’ “The Strategic Forum Plant Safety Group (SFPSG) has released a new ‘refreshed’ guidance document entitled Lifting Operations With 180⁰ and 360⁰ Excavators which updates and expands the 2008 edition.

The SFPSG was formed to produce good practice guidance on plant safety-based topics. Chaired by the Construction Plant-hire Association (CPA) with members including HSE and significant representation from a range of construction and contracting companies, plant hirers, manufacturers and training organisations.

The Guidance stresses that excavators are primarily designed for excavating and handling loose material rather than lifting suspended loads. The document advocates that an excavator should not be the first or only choice for lifting loads ahead of lifting equipment which is specifically designed for lifting operations e.g. cranes and telehandler”. The link to the full document is available on the Shiregroup website in the news section.

Employees have also been briefed on:

an accident on the Leeds Flood Alleviation Scheme which tragically cost someone their life Improvised place of work leaves operator paralysed below the waist Recording of accidents and incidents no matter how trivial Working near overhead power lines (OHPL) - The Health and Safety Executive (HSE) investigated an

accident involving working near OHPL and found that the company had failed in its duty to adequately plan, manage and monitor the construction work. It had not obtained the drawings from the utility company detailing the position of any underground cables, and did not re-scan the affected ground to a sufficient depth whilst the excavation work was ongoing. The injured worker, and the employee responsible for scanning the ground, had not received training for their tasks, despite this requirement being detailed in the company’s risk assessments and method statements. Chainsaws

‘A tree worker has been prosecuted after his employee was seriously injured at work. The self-employed worker, Perry Regan, had climbed a ladder to the height of six metres and was cutting tree branches with a chainsaw. During this activity, a large branch fell to the ground and landed on his employee’s head. The employee was seriously injured, suffering skull fractures and the loss of sight in one eye. He also had to be placed in an induced coma. Perry Regan, trading as Toppers Garden Services, was sentenced to 20 weeks in prison, suspended for 18 months, and ordered to pay costs of £2,000.

The accident was investigated by the Health and Safety Executive (HSE), which found that Perry Regan was not competent or qualified to either carry out or manage this type of work activity. It was established that he was using a chainsaw without being qualified to do so. The work was not properly planned, and adequate training and instruction had not been given to his employees. Finally, it was found that the necessary personal protective equipment (PPE) had not been given to workers on the job’.


26

Representation The Board is represented at several fora:

Environmental Flood Risk Management Other Humberhead Levels Executive Humber Flood Risk

Management Steering GroupADA Technical & Environment Committee

Humberhead Levels Partnership Group

Comprehensive Review Humber Strategy workshops

ADA Policy & Finance Committee

EA/ADA Eel Liaison Group Humber Strategy Officers Group

Living Went Project (Chairman)


27

6. APPENDIX A: Complaints Complaint 1.


28

Response

3 January 2017 Dear Member, Re: Complaint maintenance Clay Dike, Fishlake Thank you for your letter of 30th December, received today. It must be made clear that nobody within the Administration team switches pump stations off or on. Stoney Lane pump station worked as it should on 30th December, it was pumping in accordance with design. The station was, and continues to work as planned for, that is, the station is throttled to ensure appropriate water levels in Clay Dike are not exceeded through pumping activity. Should the station not be throttled, property and livestock upstream adjacent to Clay Dike will be flooded. Regarding your request for regrading of Clay Dyke in support of your assertion this will alleviate lack of drainage, this is of course a matter to be decided upon by the Board, not by its Administration Team. Regrading works constitute improvement works and will require an Environmental Statement and advertisement under the Environmental Impact Assessment (Land Drainage Improvement Works) Regulations 2017 all of which will be at a cost to the Board. If you wish this to be a matter resolved by the Board, please approach the Chairman to agree your request for regrading works inclusion on the Agenda. Yours faithfully

Alison Briggs BSc (Hons) Env. Sc., MSc Env. Mngt. (Climate Change) Environmental Officer and Administrator to the Board [email protected]


29

Complaint 2. Clerk: Ms Joanne Halsall 82 Heatherfields Crescent New Rossington DONCASDTER Dn11 0tz Tel: 07808164725 Email: [email protected]

www.sykehouse.org.uk

Danvm Drainage Shire Group of IDBs Espom House Chase Park Redhouse Interchange Doncaster South Yorkshire DN6 7FE 5th January 2018 Dear Sir/Madam I have been asked to contact you by the above Parish Council with regards to the drain maintenance in the village; many of the drains in Sykehouse and Fishlake area have not received any maintenance throughout 2017. With the recent rain fall this has resulted in farmer’s underdrainage system not functioning because the outlets are under water. If the policy of no maintenance continues, these underdrainage systems, which cost around £1,000 per acre will cease to function as they will be full of silt. Drainage rate payers who contribute to Danum Drainage Board Finances pay their rates hoping that the drains, which the board maintain, will be kept in good working order i.e. clear of silt and flailing’s. In your last letter you stated maintenance in Sykehouse and Fishlake would start by August, this has not been the case. Please can you give this matter your utmost immediate attention as maintenance needs to be done to help with the water run off for the forth coming winter months. Yours sincerely Joanne

Ms Joanne Halsall

CLERK


30

Response

Clarification Fri 12/01/2018 09:51

Hi Alison I have had a response regarding the drains in question: Part of Town Street Drain North end of Wormley Hill Drain Low end of Field Lane Drain Clay Dyke from Blackshaw pump to Stony Lane Pump Stony Lane Drain Wood Lane Drain Sour Lane Drain Parts of Thorninghurst Drain Thanks for your help Joanne CLERK Response 2017s5904-5-L010-006 16 January 2018


31

Ms J Halsall Clerk to Sykehouse Parish Council By email to: [email protected] Dear Ms Halsall, Re: Board maintenance activity Sykehouse/Fishlake

Thank you for your email received 12 January 2018. The Parish Council has identified the following drains to be of concern:

Part of Town Street Drain

North end of Wormley Hill Drain

Low end of Field Lane Drain

Clay Dyke from Blackshaw pump to Stony Lane Pump

Stony Lane Drain

Wood Lane Drain

Sour Lane Drain

Parts of Thorninghurst Drain

The Board’s response is as follows:

The Board does not maintain a drain called Town Street Drain. We presume you are referring to Sykehouse Main Drain. That being the case, the drain was walked and no obstruction to flow identified, no de-weeding necessary.

North end of Wormley Hill Drain – This drain received maintenance when the Board repaired a Yorkshire Water Services induced slip in March 2017. The drain was walked in November, flow was not obstructed although it was noted the landowner had cut his hedge and allowed the resulting brash to fall and remain in the drain.

Low end of Field Lane drain – the drain was walked to identify any potential obstruction to flow in the latter part of 2017, the result of walk-over confirmed no maintenance required to facilitate flow.

Clay Dike from Blackshaw pump station to Stoney Lane – the drain was walked late 2017 and did not require maintenance to facilitate any flow.

Stoney Lane drain – no obstruction to flow, no de-weeding necessary.

Wood Lane drain – no obstruction to f low, no de-weeding necessary.

Sour Lane Drain – partially flailed but stopped following complaint from local resident about invasive maintenance activity on wide grass verge top and reducing foraging for Barn Owl. No de-weeding necessary.

Thorninghurst drain – The drain was walked and no obstruction to flow identified, no de-weeding necessary.

Yours faithfully

Alison Briggs BSc (Hons) Env. Sc., MSc Env. Mngt. (Climate Change) Environmental Officer and Administrator to the Board


32

7. APPENDIX B: Notes of Task & Finish Group 5.1.18

Attendees: Gillian Ivey (GI) Paul Maddison (PM) Wayne Atkins (WA) Steve Lomas (SL)

Richard Thompson (RT) David Blake (DB)

Ian Benn (IB) Paul Jones (PJ)

Martin Spoor (MS) Alison Briggs (AB) Observer: Frank Jackson

Task & Finish Group: To consider work undertaken so far and make recommendations to the Finance & Policy Committee and the Board relating to Vehicle, Plant & Staff Resource and Operational Management maintenance relating for long term delivery of Board function .

GI Chaired meeting.

1. Review of decisions and actions agreed at meeting 31.10.2017. Prioritization of watercourses undertaken and maps available to view. 120km identified as primary, currently total 416km maintained comprising primary, secondary and tertiary systems. Cost of maintenance approximately £1.00 per linear metre.

Agreed Primary watercourses done annually. Secondary watercourses assessed annually pre-maintenance. Tertiary watercourses left for 5+years and some cease any maintenance. Board maintenance statement to be reviewed considering this, any amendments to Board meeting February. Watercourses recommended for early cut based on watercourse affecting people and homes. Agreed Blackshaw Clough and Towns Clough pump stations catchment priority watercourses. Workforce salary structure noted. Will be used to support salary increase to Finance & Policy Committee

2. 5 and 10-year budget forecast.

Presentation delivered based on previous recommendation by T&F Group on level of maintenance identified as required. Following comments made at F&P Committee 3 scenarios provided based on that delivery.

• the effect of no rate increase beyond 2018/19 financial year,

• a rate increase of 2% year on year (circa 0.25p)

• rate required to fund maintenance identified and agreed by T&F Group in Oct.

For first and second scenarios the Board would be in financial deficit in 2020/21. Rate increase required year on year required to sustain agreed maintenance requirement. Increase average approximately 6% annually. Financial expenditure illustrated pie chart identified drains maintenance as largest variable cost to Board.

Options to reduce expenditure on variable costs identified as:

• Contractor maintenance. Noted cost difference negligible, and rate continued to increase long term

• Riparian ownership maintenance – Board can build reserves under current rate

Members noted maintenance on 120km primary watercourse only would deliver cost efficiencies using Contractors but less so with retained workforce due to plant and operation renewal/repair requirements. Reducing workforce restricts Board ability to do work for others under PSCA, better approach to retain a workforce and develop its skills set. Agreed maintain current operations team


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Board maintenance access difficulties discussed. Calculated figures included budgeted £50,000 for any enforcement costs against riparian owners to maintain priority watercourses. Members agreed appropriate for primary watercourses facilitating maintenance delivery be provided with 5m access strip. Incorporate notification into newsletter or specific letter requiring review by Chairman. Asset Management and cost efficiencies - Members noted option figures included £50,000 p/a for 5 solely IDB funded stations p/a for next 3 years to secure detailed invasive asset inspection surveys to better identify refurbishment/replacement within Capital Plan.

3. Hydraulic Model – optioneering work will inform and enable catchment and pump station prioritization based on economic benefit.

4. Vehicle Operators Licence/possible new depot – Members agreed alternative depot essential to avoid current access and egress issues. Alternative site preferred at Lake Drain, land already owned. Noted potential difficulties with leasing premises and/or land. Finance Officer to incorporate truer cost of alternative premises into budget. VOL currently unnecessary, will review when new base in place.

5. Budget 2918/19 – Budget presented to Finance & Policy, rate agreed £0.0975. Recommendation to Board does not need to change following discussions.

Chairman summarised agreement reached and recommendations:

• Maintain current size operations team,

• Streamline maintenance regime.

• Note extra costs likely for new depot requirement.

• Acknowledge detailed asset inspection required to inform asset management.

• Acknowledge modelling work being done that may assist with rationalizations of pump stations within District.

• Noted importance of supporting justification on any decisions made by Board for all stakeholders.

6. AOB – none. Meeting closed 13:55


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8. APPENDIX C: Draft Minutes Finance & Policy Committee

Meeting 5 December 2017

Present: Andrew Cooke (Chair) Gillian Ivey (GI) Mike Jordan (MJ) David Atkinson (DA) Paul Maddison (PM) Steve Lomas (SL) Paul Maddison (PM) Martin Falkingham (MF) Neil Welburn (NW) Frank Jackson (FJ) for Catherine Anderson Barry Roughley (BR) for Richard Ward

Observer: Terry Grady (TG) Officers: Craig Benson (CB) Ian Benn (IB) Paul Jones (PJ) Martin Spoor (MS) Alison Briggs (AB) Appointment of Committee Chair 2017.63 GI proposed AC to be Finance & Policy Committee Chairman, seconded NW. No other nominations. All in favour. Apologies for absence 2017.64 Noted MJ had been able to attend the meeting following the date change. Apologies from Richard Ward, Catherine Anderson, both of whom were being substituted, Richard Thompson apologies were receive. Declaration of Interest Declaration of Interest – Chair declared in 5.5 Norton Common Access, his land being required for recent access and 5.7.1 Lake Drain PS operational base which he also used part of access track, indicating he may make comments to make but would not vote. NW declared interest. Minutes of the Joint Committee meeting held 6 October 2017. 2017.65 Approval of Minutes of Joint Committee – MJ moved, all in agreement. 2017.66 Matters arising not elsewhere on Agenda - none Committee Membership Terms of Reference 2017.67 Committee Membership – GI confirmed her request to be put on Agenda. Believed unnecessary or desirable to invite current Vice Chair as observer, noting anyone can attend meeting if they wish and open to the public. Wording also requires Committee to ensure balance of representation would be in accordance with income, but Committee could not ensure that. GI proposed take out section relating to Vice-Chairman and use “endeavour” to ensure. MJ seconded, all in agreement. CB advised the imbalance in representation would be recorded by the Internal Auditor as a Governance 2017.68 Terms of Reference – GI concerned about electronic communication. MJ felt email inappropriate as not participation in a meeting. MJ proposed delete “email”, seconded GI, all in agreement Asset Management 2017.69 Overview – IB advised Catchment Manager had alerted management to data and information not previously passed from foreman to management. This information was key to expenditure decision making requiring overview of water level management and delivery holistically. All decisions are inextricably linked, looking at elements in isolation is reactive ineffective and ultimately costlier. The Board must devise a cohesive strategy for delivering its overarching Vision and Policy Objectives. It is not possible to deliver an effective strategy without considering several different objectives and interconnectivity. MS delivered the presentation. 2017.70 Asset Management – The delivery of Board function is an Asset Management function, with 6 key elements which drive this. Each key element is presented with aspects which either require current decisions or support for approach and delivery. With continued development and management further


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key elements will be added within each key area. This may be a cross cutting theme, such as carbon reduction or PSCA’s or specific themes such as Training & Development or Apprenticeships. 2017.71 Asset Management – Catchment rationalization shapes future delivery and funding requirements of the Board and its Partners. The second stage of the Hydraulic Modelling will further inform catchment optimisation, strategic importance, economic benefits, and future funding potential through Grant in Aid. This requires close engagement and working relationships with funding partners (Coal Authority, Highways England, EA & CRT) to achieve alignment with Capital Programmes. 2017.72 Asset Management – Pump stations. The Hydraulic Modelling has shown Pump Stations to be the key asset and infrastructure delivering Board function of water level management through IDB ownership or operation and management on behalf of others. Water level management can now be driven at Catchment level with further future improvements. 2017.73 Asset Management - Operational delivery/prioritization. The Hydraulic Model outputs enabled prioritisation of primary watercourses. Remaining watercourses will be further categorised and assessed on an annual basis for need of maintenance requirements that year, creating a dynamic regime and approach. The Operational Resource delivery needs to be assessed by the Board and a long-term approach agreed and implemented; options include fully retained workforce, external contractors, or a combination. To facilitate the efficient maintenance of primary watercourses there remains the need to address access margins and continuity of access along the length of primary watercourse. Decisions on access inform future plant purchases should the Board decide to deliver maintenance through retained workforce. 2017.74 Asset Management – Maintenance delivery. Revisions have been made to the WLM Statement requiring full support of Board Members in implementation and advice to those outside the Board. The statement may require further amendment once the Committee has reached a final decision regarding access. Priority watercourses require annual maintenance; secondary and tertiary watercourses will be reviewed annually, work undertaken based on need, Operational delivery will become more dynamic. Demands of delivery will inform the V&P Forward Plan, recommend covering a 10-year period. Decisions are required on funding the V&P forward plan, continue with loans or initial Board capital funding linked to depreciation. Should workforce delivery be applied, existing and future employees will be developed as multi-functional and capable of support MEICA delivery outside of the Operational maintenance season. 2017.75 Asset Management – base of operation. The current base of Operation struggles to support the efficient and effective delivery of operational maintenance and storage of plant and equipment. Geographically, a base would be situated along the A19 Corridor; Board owned land fits the criteria, but would need significant capital investment to bring forward, to include land raising, new buildings, services and security and access upgrading. 2017.76 Asset Management – resource management – The funding of the Boards Resources continues to be scrutinised and will come under pressure. The MEICA Team are self-funded through contributions from CA and PSCA works. MEICA staff currently are zero cost to the Board and generate income circa £10,000. Potential to further increase income via PSCA’s remains strong, especially with the EA which is impressed with level of ability of MEICA team. PM advised WMDC use of Danvm MEICA team and very pleased with rate of recharge and work done. Costs associated with Operational Delivery are high, any future commitment to a retained workforce will potential increase this. Total costs currently running at approx. £400K per annum, £320K of which is associated with Operational delivery. The use of Contractors has the potential to reduce these costs, but needs to be considered in terms of quality. 2017.77 Task & Finish Group outcomes – Actions arising from group meeting discussed and noted reference within presentation on certain elements. Purchase of wheeled machine has impact on budget, outcomes of any future T&F Group discussions will support whether prepared budget is agreed or requires revision. Noted riparian responsibility on culverted system had been agreed as a general statement. Work done by committee provided guidance on water maintenance statement. 2017.78 Watercourse Maintenance Statement Review – Appendix A – PM concerns about will not undertake maintenance if access prohibited. NW noted requirement to emphasise landowners will have to do own drains if Board cannot get access. Small amendments suggested and agreed. GI proposed Members happy with changes and amendments thereto, AC seconded, all in agreement. 2017.79 Watercourse Maintenance 2018/19 – Members raise concerns about sections of watercourse downstream of pump station where subsided basins pump into unsubsided areas. Will be discussed following end of meeting. 2017.80 Norton Common access – GI chaired this item. MS advised plant and equipment required on site, landowner served notice for access via field margins due to weight restrictions on Stubbs Grange Bridge. Asset Management of the station is an issue, recommendation for hydraulic modelling Norton Common PS to inform decisions. Potential options could include:


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Rationalize station by linking to Lake Drain – would require Coal Authority agreement Is current station sited correctly? Could old course of Went be reused? Station refurbishment at current location would require new access. AC advised use of hydraulic model vital to any decision. PM advised obtain price to model scenario around Norton Common PS and reuse of old course of Went. PM noted in terms of current Management Services contract, if Board is asking management to undertake optioneering there will be an associated cost. MJ proposed a short-term approach and service of notice on land owner to access weed screen for repair and long-term alternatives need to be considered for which optioneering is required, FJ seconded, all in favour. 2017.81 Bramwith Rands pipeline – AB advised history associated with culvert and current requirement to comply with Eel Regulations. Noted potential reduction in pumping at Kirk Bramwith in dry weather flows. MJ proposed installation of stop logs, MF seconded, all in agreement 2017.82 Vehicle & Plant, Staff resource – future maintenance requirements – Noted proposals for McCormick tractor and flail to trade in, replace. Noted in forward plan and budget 2018/19 expenditure. Need to place orders with suppliers, payment net financial year with delivery pre-maintenance. 2017.83 Fleet vehicles – will be rationalized into current fleet of Ford vehicles. 2017.84 Operational base – discussed previously. Lake Drain presents opportunity to develop as a base. Members suggested other sites including Carrcroft and Askern. No work done yet on costings however requirements will be 2 large shed buildings with welfare facilities, to accommodate new machinery and office facilities land levels would need to be raised, access upgrade needs considering. PM advised decisions are required as they have a bearing on operations moving forward; any decision by Committee requires linking with other aspects of overview presentation first given. AC recommended existing T&F Group consider issue immediately post-Christmas. All in agreement. 2017.85 Board employees – MS advised operational staff remains 2 short over last 2 years, full complement of staff may include requirement for full road haulier operations. GI noted apprenticeship completed early as of October. GI advised herself and Vice Chair decided to offer permanent employment on completion of apprenticeship, requesting Committee support of decision. AC enquired salary cost. Advised salary structure provided to T&F Group which considered figures presented appropriate. GI noted differed from those supported by herself and CAnderson in September. MS advised appropriate salary based on qualifications, innovation shown by MEICA team several occasions, and value to Board as source of income. Team managed £50,000,000 IDB owned and Coal Authority stations. Bulk of salary met with Coal Authority contributions and MEICA PSCA work to Black Drain and Goole & Airmyn meant Team were zero cost to Board and excellent value for money. MS concerned application of suggested salary will create difficulties, staff had already been approached by others keen to secure their skills. CEO advised an extensive 10-page report provided to Board Chair and Vice Chair on MEICA team; this Committee had delegated power to approve salary on his recommendation which was application of higher figure. IB advised information provided to T&F Group on proposed pay structure contained career increments as previously requested by Board Chair. GI advised opportunity to consider increase in April 2018 at review time. GI proposed figure agreed at her previous meeting, seconded MJ, all in agreement Finance 2017.86 Board land sale – Concerns expressed by RT in email advised to Board. Committee agreed land sale appropriate but expressed concerns about future sales and whether auction or informal tender process may provide better results and whether this the right time to sell. AB advised Board relied on advice of its Land Agent, a report had been produced to protect Board on appropriateness of method used. 2017.87 Audit – Review of effectiveness will take place in January. External Auditor appointment been received for 2018/19 for 5 years as PKF Littlejohn. 2017.88 Estimates, Rates & Special Levies – proposal to increase by 0.25p. Detailed discussions on budget brought forward for discussion and headings under which figures are included. 9.75p increases to 14p over next 5 years to deliver pump station refurbishments and plant and equipment purchases discussed earlier. Rate increase over 5 years however forecast reduced reserve balance below that required in Reserves Policy. 16 pump stations are 100% Board owned, level of grant funding unknown and likely cost of replacement is circa £16,000,000. Penny rate will increase and continue to increase as Board continues doing same work year on year. FJ advised of CAnderson question via email related to cost of borrowing and would use of hydraulic model show potential for pump station rationalization. Agreed it would. MJ confirmed proposed rate increase equates to 2.6% increase to Selby DC and would only accept 2% increase to avoid Selby DC cut in services. AB informed Members obliged to consider what Board


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required, not personal or political requirements. CB confirmed budget presented would deliver what Members had just agreed required for water level management. MS counselled Members to recognize it was for the Board to decide whether and what it was willing to cut in terms of operational function if they were to consider Charging Authorities objections to rate increases. GI advised her support for current rate rise but would not accept a year on year increase as provided for in budget forecast. Committee should look at cutting costs before 2019/20 budget setting, charging officers with providing proposals to reduce expenditure and contain within approved rate level of £0.0975. NW proposed rate increase at £0.0975, seconded MF, 8 in favour, 1 against. Majority carried. 2017.89 List of payments – MJ proposed Members approved list of payments by cheque and from Board accounts totalling £205,496.54 of which £101,500.57 were approved by the Clerk and Engineer, seconded FJ, all in agreement. Date of next meeting 2017.90 23 March 2018 – GI gave apologies


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9. APPENDIX D: Finance & Policy Committee ToR 1 DELEGATED AUTHORITY FROM THE BOARD

In accordance with the Board’s Scheme of Delegation, the Board hereby delegates the following powers and authority to its Finance Committee: 1.1 To agree the Board Drainage Rate 1.2 To approve Board budget estimates 1.3 To approve the List of Payments 1.4 To agree upon proposed employee salary increases in accordance with the CEO’s

recommendations 1.5 To approve Engineering schemes with an appropriate cost/benefit ratio 1.6 To take decisions on any related matter the Board may reasonably determine from time to time

by resolution 1.7 To ensure Board owned land maximises its benefit to the Board 2 ROLE OF THE COMMITTEE The Finance & Policy Committee shall advise the Board on various matters. The Finance Committee shall: 2.1 Consider any issue in detail as determined from time to time by the Board and make recommendations to the Board accordingly. 2.2 Critically review the annual revenue and capital expenditure budgets, as prepared by the Finance Officer and make recommendations to the Board accordingly. 2.3 Monitor income and expenditure during the year to ensure that the Board operates within approved budgets, consider any requirements for the Board to approve any large and unplanned material deviation therefrom and make recommendations to the Board accordingly. 2.4 Seek to ensure that Internal controls and governance arrangements are effective and make recommendations to the Board accordingly. 2.5 Consider all significant/material financial issues in detail and make recommendations to the Board accordingly. 2.6 Annually review the Board’s Final Accounts, including the Internal and External Audit Reports and the Governance Report, and make recommendations to the Board accordingly. 2.7 Periodically scrutinise all payments that have been made to suppliers, as authorised by the signatories in accordance with the Board’s Financial Regulations and Bank Mandate and approved the list of payments. 2.8 Support the Board’s Chairman and Chief Executive in their roles, as set out in the Division of Responsibilities document (Chairman and Chief Executive). 2.9 Make recommendations to the Board on settling claims for compensation that have been made against the Board 2.10 The Committee will specifically refer to the Board’s WLM Policy, Flood Risk Management (FRM) Policy and any other relevant Policy or Statement approved by the Board, and will achieve Policy and Statement aims through the following objectives: 2.11 Review of Catchment Management 2.12 Review of Asset Management 2.13 Review of Emergency Response


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2.14 Review of Pumping Station Maintenance 2.15 Review of Ordinary Watercourse Maintenance 2.16 Review of Main River Maintenance 2.17 Review of 3rd Party Maintenance 2.18 Review Drainage Advice for Riparian owners 2.19 Consideration of additional items as determined by the Board 2.20 Liaising with Risk Management Authorities 3 MEMBERSHIP OF COMMITTEE The Finance & Policy Committee shall comprise 11 Members of the Board. The Committee will endeavour to ensure that Nominated Members will always have a majority over the Elected Members. The Board shall elect and appoint from its membership of 11 a Chairman to serve the Committee for an initial period to 31 October 2019 and triennially thereafter. All members of the Finance Committee shall be eligible for re-election at the end of the initial period or three-year term, provided they continue to be Members of the Board. If a Member is unable to attend a meeting they can send a substitute in their place, providing the Board Finance Officer is notified at least 2 days prior to the meeting and the substitute has had sight of the meeting papers. The substitute must be an existing member of the Board. If a member is absent from the Committee for 3 consecutive meetings, they shall, unless their absence is due to illness or some other reason approved by the Board, vacate their office at the end of the third meeting. Any casual vacancy that arises among the Members of the Committee for whatever reason shall be filled by the Board as soon as practicable after the occurrence of the vacancy. The Board can remove Members and Advisors serving on the Finance Committee and appoint new Members and Advisors at any time by resolution of the Board. 4 CHAIRMAN OF THE COMMITTEE Members of the Finance & Policy Committee shall elect from their number a Chairman who shall hold office for an initial period until 31 October 2019 and triennially thereafter from 1 November. The position of Chairman shall change every three years, unless otherwise agreed by the Committee. If any casual vacancy occurs in the office of Chairman, the Committee shall as soon as it conveniently can after the occurrence of such a vacancy, choose someone of their number to fill such vacancy, and every such Chairman so elected would have been entitled to continue if such vacancy not have happened. If the Chairman of the Committee is not present at a Committee meeting, the Members of the Committee shall elect someone of their number to Chair the meeting. 5 VOTING ENTITLEMENT Each Member of the Finance Committee shall have one vote. In the event of an equal number of votes being cast the Chairman of the meeting shall have a second or casting vote, in accordance with the Board’s Standing Orders. For the avoidance of doubt, Observers will not be entitled to vote. A substitute attendee will have the power to vote 6 QUORUM No business shall be transacted at any meeting of the Finance & Policy Committee unless at least 6 of the Members of the Committee are present. For the avoidance of doubt a Member is considered present if they participate in the meeting by telephone, teleconference or skype.


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7 NUMBER OF MEETINGS PER YEAR The Members on the Committee shall meet at such dates and times as they decide (“Scheduled Meetings”) which will number 3 annually. Additional meetings can be convened by the Board, the Chief Executive or Finance Officer. All Members attending meetings of the Finance Committee shall be recorded. 8 NOTICE, MINUTES AND MEETING REPORTS A minimum of seven days notice shall be given to Members via email in advance of all Scheduled Meetings, which will also include an agenda, written minutes of the previous Committee meeting and whenever possible the relevant reports to be considered. The notice must clearly state where/how the meeting is to take place; be it at a physical location, by telephone conversation or teleconference, or through an exchange of email. 9 VENUE FOR MEETINGS All meetings of the Finance Committee shall take place at Shire Group offices at Epsom House, Malton Way, Adwick le Street, Doncaster DN6 7FE unless otherwise determined by the Committee. 10 FINANCE & POLICY COMMITTEE REVIEW Committee membership and its Terms of Reference shall be reviewed annually by the Board based upon relevance, performance, and attendance. The Committee and these terms of reference are in substitution for any previous terms of reference or other arrangements relating to the Board’s Finance Committee or the Board’s Water Level Management Committee, which are deemed to be terminated with effect from 2 February 2018 11 CERTIFICATION Danvm Drainage Commissioners has approved the terms of reference for this Committee on 2 February 2018 By Order of Danvm Drainage Commissioners Certified by Mr I M Benn, Chief Executive. 2 February 2018


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10. APPENDIX E: Internal Audit Review Meeting Held at JBA Consulting, Epsom House, Adwick le Street Monday, 8 January 2018 Present: Mr Adrian Black (AB) Scunthorpe & Gainsborough WMB Mr David Hinchcliffe (DH) Black Drain Drainage Board Mr Martin Oldknow (MO) Black Drain Drainage Board Mrs Gillian Ivey (GI) Danvm Drainage Commissioners Mr Andy Cane (AC) Brodericks GBC

In Attendance on behalf of JBA Consulting: Mr David Blake (DB) (Financial Officer to the Shire Group of IDBs) Mr Mark Joynes (MJ) (Financial Officer to the Shire Group of IDBs

1.1 Introductions and Apologies for Absence The members of the panel briefly introduced themselves. Apologies for Absence were received from Mr Christopher Day and from Mrs Rosemary Webster.

1.2 Minutes of the Last Meeting / Matters Arising The panel approved the minutes as a true and fair record with no matters arising.

1.3 Risk Register The panel discussed the register and the format generally. GI enquired whether the Board-specific risks should be presented along with the main Register. MJ said the full version, including Board-specific risks would be presented to the individual Boards at the coming round of meetings.

MO noted the document is bulky and it is necessary to become embroiled in it in order to understand it. He asked if major risk areas could be separated out. DB said the officers had intended to develop the register but were unable to do so owing to time constraints. MO said it was would be a good way to focus members’ attention on the most important items.

1.4 Internal Auditor’s Report The internal auditor reviewed the work undertaken on the 2016/17 accounts. In general, the internal auditor was satisfied with how things were run and said there were no major concerns. The panel then discussed the following points:

Supplier Bank Details and Associated Fraud Risk

AC gave the panel a summary of his views on this issue. He pointed out it would only take one or two instances of fraud to create major issues for the Board, even if the cash sums involved were relatively insignificant. He discussed instances he’d encountered, in his general work as auditor, of email accounts being hacked and the associated risks. He said once the electronic payment is submitted, the process is final and you may not have the recourse that exists with cheque payments. The banks’ own fraud departments are often unable to trace monies once transactions are completed.

AB said on receipt of a notification of a change of supplier bank details, the finance officers should contact the supplier by telephone to confirm. MJ said this was standard procedure, but that the telephone contact details should be taken from existing records, not those on the received correspondence. MO suggested a £ threshold might be set, beyond which the chairman’s approval is required. AB said such a level would depend on the size the Board. DH asked if creditors could be approached to supply trading refers as evidence of their probity. MJ said suppliers sometimes provide scans of blank cheques, credit slips, etc. as evidence of their bank details.

Decision Making & Member Attendance

The panel discussed this perennial issue at length. GI asked the Internal Audit whether he was suggesting any of the decisions made were incorrect. AC affirmed absolutely not, it is purely the make-up of the Board and the Member representation from a decision-making point of view. GI and AC discussed a point raised in the Danvm Drainage Commissioners’ report regarding a specific meeting. AC said he well understood there are some instance where non-attendance is unavoidable, and it was more persistent non-attendance that concerned him. GI said she had taken up the issues of non-attendance with Selby DC. The panel also discussed the ‘3 strikes and you’re out’ approach.


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DH observed that it is difficult to generate interest in drainage authority affairs. It tends to be only in the aftermath of serious events such as flooding that the public take interest. MO informed the panel that Doncaster MBC often struggle to appoint Members. GI said that Selby DC are not willing to appoint officers, preferring elected councillors instead. But with a pool of only 30 to draw from, this was often difficult. MJ asked if the Clerks could do anything more to counter the problem. MO said that it is not possible to force Members to attend. The panel also discussed the information presented in the minutes, with some meeting papers containing schedules of attendance at recent meetings.

AC said the May meetings seem to be particularly problematic. MO pointed out this is a busy time for local authorities, particularly during an election year. DH said that Drainage Boards are under pressure to complete their accounts during this period.

1.5 External Auditor’s Report The Annual Returns were reviewed by the panel and more specifically the External Auditors’ comments. The following matters were discussed.

Asset Valuations

The panel discussed the issues raised and in particular, the increases in the insurance values relating to pumps. MJ explained that the increases were to reflect the increased cost of replacement in light of eel regulations. He also suggested it was better to overvalue than undervalue your assets. DH said the values needs to be accurate, and that revaluations should be carried out every year. The finance officers agreed they would formalise the whole valuation process. AB said it was important the Engineers were involved as they have good knowledge of long-term replacement costs, etc. GI said it was important to look at the long-term budget and try to extend the life of pumping stations wherever possible. DH agreed.

Registers of Members’ Interests

MO said it can be difficult to get Members to keep their registers up-to-date. GI asked where would be the best place to get reliable advice on declarations of interest during meetings. MO suggested training from the local authority might help. AB pointed out that elected members have good local knowledge. After discussion, it emerged that members of the panel had differing views on what constituted a declarable interest, whether Board Members should be asked to leave the room if they were perceived as conflicted over an issue and also whether they should be allowed to vote on such an issue. AC’s view is that once a Member has declared an interest, the Board should then decide if the Member is conflicted, and that problems arise when a Member fails to declare an interest. MO said it was possible Members did not realise they held a declarable interest. MO said that up until recently, it was accepted that membership of a drainage board was in itself an interest. GI said the critical thing is how these matters would appear from the point of view of an outsider.

1.6 Any Other Business Nothing to report

1.7 Date of Next Meeting and Close of Meeting The next meeting of the panel will be held on Monday, 26 November 2018 at 10.00am at the offices of JBA Consulting, Epsom House, Chase Park, Redhouse Interchange, Doncaster, DN6 7FE.

MJ thanked the members for attending. The meeting was closed at approximately 10:55am.


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11. APPENDIX F: Risk Register A copy of the updated Risk Register can be found over the following pages. The Board is requested to review and approve the document.

Danvm DC Risk Register 09/01/2018

Item Grade Impact Likelihood Ref Risks Mitigation and Action Required Last Reviewed

1. a)Is there a Strategic Plan setting out the key aims,

objectives and policies?B High Low 1.1

Disunity in Board with conflicting aims & objectives.

External bodies and the wider public lack understanding of the

Board's aims & objectives.

Internal/external disputes cannot be resolved through lack of

adopted policies.

Each board has a policy statement on Flood Protection

and Water Level Management. These fall short of full

Strategic Plan.

All Boards have Biodiversity Action Plans.

ADA standard model policies utilized to adopt an

application.

By default the constitution follows the provisions laid

down in the Land Drainage Acts.

15/11/2017

1. b) Are there financial plans and budgets? B High Low 1.2 Board lacks sufficient funds to meets its obligations.Budgets follow sound logical principles. Approved by

each IDB.15/11/2017

1. c)Is there monitoring of financial and operational

performance?B High Low 1.3

Officer's unaware they have exceeded, budget, become

overdrawn or that there are other, material errors in the

accounting records.

Inefficient, dangerous operational practises occur and

continue unaddressed.

Daily, weekly, Monthly and Quarterly totals considered

by Financial Officers on an ongoing basis that these are

in accordance in general terms with budget. Evidence

of budget monitoring approved by IDBs. Budget

review document signed each month with comments.

15/11/2017

1. d) Is there feedback from beneficiaries? B High Low 1.4

Board members and other funding partners unaware of

problems set out above.

Said problems continue unaddressed.

Operational performance considered and updated at

Board meetings as appropriate.

Ratepayers know Board members. (Names of all Board

members are available on the Shire Group website)

Feedback to board of praise /criticism via member.

Complaints procedure documented and available on

website.

15/11/2017

2. a) Is there a recruitment / appointments process? D Low Low 2.1

Board members/officials lack suitable knowledge and

experience.

Members/officials lack ability to make objective decisions and

act in the Board's long‐term interest.

Recruitment process is not transparent to all.

Land Drainage Act provides for election of members

every 3rd Year. Generally recruitment is via word of

mouth from existing members and landowners who

have been affected by the boards’ policies in order to

represent their interests.

Format of the nomination papers is prescribed by the

LDA 1991 and copies are available on the website.

15/11/2017

D Low Low Unsuitable members (see above) appointed to the BoardQualifications for membership laid down by LDA 1991.

See reverse side of nomination paper.15/11/2017

C Low High Local Authority appoints unsuitable members to the Board.Council to nominate people as they consider

appropriate

Governance ‐ Members & Management

Question 1 ‐ Does the Board Lack Direction?

Members/Officials

Question 2 ‐ Do officials/members lack relevant skills or commitments?

2. b)Is there a competence framework including job

description?2.2

Part 3 - Risk Assessment Register 44



2. c)Is there a training programme and education programme

with regard to Law?C Low High 2.3

Members/officials lack understanding of the Board's

objectives, latest legislative requirement and latest

developments in the industry.

Ian Benn is a member of the ADA Technical &

Environmental Committee. He attends a forum of local

Clerks approx. 3 times per year together with The

Association of Drainage Authorities annual conference.

Regular updates from Association of Drainage

Authorities. All updates reported to members in their

meeting papers. Training seminars on legislation,

responsibilities, ethics, etc. are being delivered.

Comprehensive modular training scheme to be added

to the website (target date 31.3.2018)

15/11/2017

3. a) Is there a documented structure? B High Low 3.1

No clear framework of the operations in the organisation.

Members/officials do not understand their own roles &

responsibilities.

Composition of the Board set out in DLA.

Standing Orders and Financial Regulations renewed are

reviewed and renewed. To be approved by DEFRA.

15/11/2017

3. b) Is there a statement of members’ independence? D Low Low 3.2A member's interest are in conflict with those of the Board.

Board are unaware of any such potential conflicts.

Minutes and agenda thereto states Board Members

are advised to declare a pecuniary or non pecuniary

interest on any item in the agenda.

Register of Members' Internest compiled and kept up‐

to‐date.

15/11/2017

3. c)Is there a procedural framework for meetings and

recording decisions?D Low Low 3.3

Members / officials meetings have taken place.

Decisions of the Board go unrecorded.

LDA and Clerk to arrange programme of meetings.

Agenda for meeting set by Clerk and Chairman.

Minutes of meetings scrutinised & approved by Board.

15/11/2017

3. d)Is there a procedural framework for dealing with conflicts of interest? B High Low As 3 b) above. As 3 b) above. 15/11/2017

3. e) Is there the legal authority to pay expenses? D Low LowReviewers not certain of legality of expense payments made to

members.Not for Board meetings, conferences only, as per LDA. 15/11/2017

3. f) Is there a remuneration policy? D Low Low Board exposed to risk of fraud.

No remuneration policy in place. Boards may pay a

chairman’s honorarium at their discretion, subject to

ministerial approval.

15/11/2017

4. a) Is there an education programme with regard to the law? D Low Low See 2. c) above.

See 2. c) above.

Management are involved in the preparation of

training modules and attend the seminars, or indeed

deliver them.

15/11/2017

4. b)Is there an organisation chart clearly stating roles, duties

and lines of communication?D Low Low

Lack of a clear chain of command. Officers uncertain of the

responsibilities and level of authority.

Organisational structure difficult to review.

In general on website. Further, more detailed

documents setting out team structure, individual roles,

etc. on JBA records. To be added to the website (target date 31.3.2018)

15/11/2017

4. c) Is there a monitoring process carried out? D Low Low Staff problems and organisational anomalies not addressed.JBA procedures. IDB Division established in line with

DEFRA requirements.15/11/2017

4. d) Is there a review of structure? D Low Low Conflicts of interest not detected and not addressed.JBA procedures. IDB Division established in line with

DEFRA requirements.15/11/2017

Question 3 ‐ Does the Board lack appropriate composition?

Management

Question 4 ‐ Is There an Adequate & Informed Organisational Structure?




4. e) Is there a competence framework? B High LowAssessment of staff members ability to fulfil their roles is

difficult, and the results harder to justify.

Prescriptive Job Descriptions written for each team

member. These are in progress. (reviewed annually).

Detailed descriptions setting out roles & requirements

included in tender documentation.

15/11/2017

5. a) Is there succession planning? B High Low 13.1Orderly transitions not adequately planned for and

disruptions/delays occur as a result.

Good balance of knowledge and skills appropriately

segregated. Procedures being documented. 15/11/2017

5. b) Are there appropriate notice periods for changeover? B High Low 13.1 Insufficient time to plan for transitions causes disruption.

All IDB Division Staff have a permanent contract with

JBA Consulting. Employees with over two years’ service

are required to give three months’ notice in writing.

15/11/2017

5. c) Are there training programs in place? B High LowStaff lack the knowledge and appropriate training to fulfil their

roles.Ongoing on the job training of key staff occurring. 15/11/2017

6. a) Is there timely and accurate project reporting? D Low LowManagement, stakeholders and other interested parties not

aware potentially problematic issues.

Progress on capital schemes is reported regularly at

Board meetings.15/11/2017

6. b) Is there timely and accurate financial reporting? D Low LowMembers and management not made aware on problematic

or otherwise important issues in a timely manner.Estimates Jan/Feb, Accounts May/June. 15/11/2017

6. c) Is there a budget setting process? D Low Low Board lacks sufficient funds to meets its obligations. Yes. Laid down by LDA. Budgets set every Jan/Feb 15/11/2017

6. d) Is there proper project assessment? D Low LowLack of due project assessment may allow problems to arise

again in future schemes.

Grant‐aided scheme ‐ PAB Approval.

Non grant‐aided ‐ reported to the board.15/11/2017

6. e) Is there regular contact between board and management? D Low Low

Board members unaware of relevant issues, whether

operational, financial, administrative or environmental.

Board members unable to set policy as required.

Regular Board meetings. 15/11/2017

D

Question 7 ‐ Are there any risks associated with the provision of services?

7. a) Is there a quality control procedure? D Low LowServices rendered do not adhere to relevant professional

standards.

No quality control procedure but officers are ISO 9001

accredited.15/11/2017

7. b) Is there a complaints procedure? B High Low

No opportunity for dissatisfied parties to air grievances, nor

any opportunity for the Board address them and correct any

problems where necessary.

Website provides clear instructions on how to make

complaints. All complaints reported to the Board in the

meeting papers.

15/11/2017

7. c) Is there a policy to raise public awareness and profile? D Low LowGeneral public unaware of the roles & responsibilities of

drainage authorities, or even of their existence.Website ‐ Shire Group of Internal Drainage Boards. 15/11/2017

Question 8 ‐ Is there a risk of supplier dependency? D

8. a)Are there procedures for obtaining quotations/periodic

review of suppliers’ charges?B High Low 8.1

Unsuitable goods/services ordered by persons lacking suitable

knowledge & experience, resulting in financial burden.

Levels of authority for ordering goods & services

clearly set out in Board's financial regulations.

Requirement for suitable number of quotations set out

in same.

15/11/2017

Operational Risk

Question 5 ‐ Is there a lack of succession planning? Can experience and skills be lost, and corporate contract/operational impact be lost?

Question 6 ‐ Is the reporting process adequate?




8. b) Is there an authorised suppliers list? D Low LowContractors appointed lacking suitable training, knowledge,

competence and experience.

JBA carry out all quality assurance on all contractors.

Approved contractor list circulated as appropriate and

approved by the board.

List of the Board's approved contractors on Health &

Safety website.

15/11/2017

8. c)Is there a monitoring process over the quality and timing

of bought in services?B High Low 8.1

Inadequate level of service rendered and/or unnecessary

delays.JBA administers all tendering processes and timing. 15/11/2017

Question 9 ‐ Is there a risk that capital resources are under utilised?

9. a) Is there a building and plant inspection programme? B High Low 8.2 Problems not detected and corrected in a timely manner. Asset Management program in place. 15/11/2017

9. b) Is there a repair and maintenance programme? D Low Low 8.2 As above.

Repairs undertaken as required and approved at board

meeting and general review to consider replacement

option.

15/11/2017

9. c) Is there a capital expenditure budget? B High Low 8.2Board unable implement necessary replacement of capital

items.

JBA prepare and update for each meeting a 5 year

capital programme for IDBs.15/11/2017

9. d)Is there a review of security and safe custody

arrangements?B High Low 8.2 Security issues not detected and corrected in a timely manner.

Boards with plant have secure depots. Site staff bring

any potential security issues to the officers' attentions

immediately.

Intruder alerts detected automatically and reported

immediately through the telemetry system.

15/11/2017

9. e) Are there insurance reviews? B High Low 8.2Board has inadequately level of cover.

Board is paying for unnecessary insurance cover.

Towergate Insurance annually review all eight Board

policies. IDB supplied with details.15/11/2017

Question ‐ 10 Is there a risk of employment disputes due to injury, unfair dismissal, equal opportunities, in appropriate training etc., or a high staff turnover?

10. a) Is there a recruitment process for appropriate staff? D Low Low 10.1New staff appointed who lack relevant training, competence,

etc.Interview questionnaires used. 15/11/2017

10. b) Is there a policy to check references and qualifications? B High Low 10.2Employee dishonesty with regard to qualifications and

previous experience may go undetected.

Written references and copies of relevant certificates

obtained when new employees are engaged.15/11/2017

10. c)Is there an equal opportunities policy – fair and open

competitions for key posts?B High Low 10.3

Discrimination (e.g. by age, gender, race, religion or belief,

sexual orientation, disability) may occur in the recruitment

process and go undetected.

Favouritism and nepotism may likewise occur.

No formal policy in place. Abide by current statute. 15/11/2017

10. d) Is there a policy of appraisal with feedback? D Low Low

Opportunities to strengthen links with workforce misses.

Also, to avert future disputes & generally improve workplace

satisfaction missed.

6‐monthly review for new starters. Annual appraisal

process for workforce.15/11/2017

10. d) Is there a policy of training and development? D Low Low 10.4Training needs and career development goals of individuals

not determined.Schedule of training needs via the asset manager. 15/11/2017

10. f) Is there a health and safety training and monitoring? D Low Low 10.4Health and safety needs of individuals not assessed. Accidents

and illnesses that should be easily preventable occur.As above. 15/11/2017

10. g) Is there a job description for each key position? D Low Low 10.5 No clarity as to each employees roles and responsibilities. Job specifications in place for recent appointments. 15/11/2017

10. h)Is there a policy of review of rates of pay, training,

working conditions etc.?B High Low

Employees' remuneration is not appropriate for their level of

experience and their current roles and responsibilities.

Workplace dissatisfaction through inadequate pay.

Rates increased in accordance with Association of

Drainage Authority guidelines.

Training and working conditions as 10 e) above.

15/11/2017




10. i) Are there contracts of employment? B High Low 10.6Employees uncertain of the details of their roles and what is

expected of them.Contracts of employment in place. 15/11/2017

Question 11 ‐ Are there risks of loss of information and continuity?

11. a) Is there a disaster recovery plan B High Low 11.1Business IT infrastructure destroyed by fire, vandalism, etc.

Severe disruptions to operational effectiveness.Backup tapes kept off site. 15/11/2017

11. b) Is there a policy of taking and sharing data off site? B High Low 11.1Major disruption to operational effectiveness as a result of

significant loss of data.As 11. a) above. 15/11/2017

11. c) Is there Insurance cover? Is it regularly reviewed? B High Low As 9. e) above. see 9. e) above. 15/11/2017

Question 12 ‐ Is there a risk of lack of awareness of procedures and policies?

12. a)Is there a proper documentation of procedures and

policies?B High Low 12.1

Confusion or disagreements not quickly resolved.

Uncertainty over requirements and expected standards.

Recommend that policies be documented at the

earliest opportunity.

All adopted policy documents available on website.

Procedures are in progress (target date 31.3.2018)

15/11/2017

D

Question 13 ‐ Is there a risk of loss of control through an inadequate budget process?

13. a) Is there a budget linked to planning and objectives? B High Low As 1. b) above.See 1. b) above. 5‐year or 25‐year budget forecasts

presented at Board meetings.15/11/2017

13. b) Is the budget regularly reviewed and monitored? B High Low As 1. c) above. See 1. c) above. 15/11/2017

13. c)Is there a monitored and adequate skill base to interpret

the information?B High Low

Staff, members or other reviewers do not understand the

implications of the forecasts they are presented with.

Team members both experienced and suitably

qualified.15/11/2017

13. d) Is there an indication of major dependencies on income

sources?B High Low

Board left in financial disarray should such an income stream

suddenly cease for any reason.

Highlights requirements of DEFRA Grants and/or Public

Works Loans (Capital works).15/11/2017

Question 14 ‐ Is there a risk of lack of liquidity due to inadequate reserves?

14. a)Is there a reserves policy linked to business plans and

identified risks?B High Low

Board lacks adequate funds to fulfil its statutory obligations.

Board is unable to remain solvent following a major

undesirable event.

The Board have a reserve policy in place, and take it

into consideration when setting the budget every year.15/11/2017

14. b) Is there a regular review of the reserves policy? B High LowReserve policy fall out‐of‐date and are no longer adequate to

meet the requirements of the Board.Policies reviewed periodically, typically 3 or 5 years. 15/11/2017

14. c)Is there a fair reflection of the financial integrity of the

Boards reserves?B High Low

Actuality of the Board's financial performance leaves them in a

position in breach of their reserves policy.

Presentation of balances within accounts is consistent

with associated effects on stated reserves.

Recommend review of presentation of Balance Sheet

in conjunction with Reserves Policy. This is ongoing.

15/11/2017

Question 15 ‐ Is there a risk associated with non‐compliance with the law or other external factors?

15. a)

Is there a policy of review of the legal requirements

extending to the organisation/professional opinion sought

re:

● Employment Law? Board in breach of its statutory obligations. Equal Opportunities policies in existence.

● Human Rights Legisla on? Same All applicable law complied with.

Financial Risks

External Risks / Compliance with the Law

B High Low 15/11/2017



Item Grade Impact Likelihood Ref Risks Mitigation and Action Required Last Reviewed ● Health & Safety? Same Ian Benn/Craig Benson Health & Safety Advisors.

● Criminal Acts? Same Disciplinary Procedures.

15. b)Is there a policy for monitoring and reporting grant

funders’ conditions?B High Low

Actual costs may exceed budgeted, opportunities to take

corrective action missed.

Depends on the scheme. Monitored generally by the

project manager.15/11/2017

Question 16 ‐ Are there any specific Board Risks?

16. a)Is there a major ratepayer whose none payment would

significantly impact on the Board activities?B High Low

● Drainage Rate Payer Board left with shortfall in reserves

● Special Levy paying council Board unable to pay Creditors

Cashflow problems

Change in % of Board membership

Reserve Policy and long term planning

same

same

Board awareness.

16. b)Is there an over reliance on borrowing monies to fund

capital replacement?B High Low Facility to borrow money may not be available.

Increase in drainage rates to build funds specifically for

capital replacement.15/11/2017

Restrictions placed on the level of annual loan repayments as a

percentage of Rates and Special Levies

Depreciate asset and set aside funds annual to replace

at end of life.

Instigate a council referendum if rate increase is more than

2%.

Source other funding possibilities such as Grants, Local

Enterprise Partnerships

16.c)Environment Agency withdrawal of maintenance on main

river and tidal systemsA High High Board's maintenance operations reliant upon EA systems

Board consider carrying out work on main river at own

cost.15/11/2017

Agricultural land taken for flood storage thereby reducing

drainage rate income of Board

Reduce works on ordinary watercourses

16.d) Major Development in Board's District B Low High Increase in Special Levy on CouncilCouncil made aware of impact of development on

Special Levy.15/11/2017

Change in % split of membership of Board. Board made aware of changes to Board membership

16.e) Third Party Contributions Cease B Low HighEnvironment Agency stop Highland Water Contributions.

Likely impact would be an increase in the drainage rate.

Reduce reliance on this income when budgeting and

treat income as bonus and spend on works at end of

year.

15/11/2017

Third parties seek to remove their commitment to fund shared

assets

Review existing arrangements and opportunities to

update all agreements.

16 f)Failure of Board Asset

B Low HighFailure of asset adversely affects the conveyance of water

through the Board's District

Board have instigated a proactive inspection regime to

mitgate against unplanned failures.15/11/2017

Speciifc Board Risks

15/11/2017


Shire Group of IDBs Epsom House Malton Way Adwick le Street Doncaster DN6 7FE T: 01302 337798 [email protected] www.shiregroup-idbs.gov.uk JBA Consulting has offices at: Coleshill Doncaster Dublin Edinburgh Exeter Glasgow Haywards Heath Isle of Man Leeds Limerick Newcastle Newport Peterborough Saltaire Skipton (Belle Vue Mills) Skipton (Head Office) Tadcaster Thirsk Wallingford Warrington

Danvm DC Meeting Papers 2Feb2018 - Shire Group of IDBs · Danvm DC Meeting Papers 2nd February 2018 6 Governance Chair welcomed Martin Drake to first meeting Apologies for absence

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